Advisers on the Move

Never miss a move. The industry's only comprehensive database of financial advisers and brokers changing firms. View over a decade of recruiting activity at wirehouses, regional brokerages, RIAs and independent broker-dealers.

Considering changing firms, making a new hire or exploring an acquisition? Visit the Adviser Center.

Latest moves


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Steven W LundquistCentaurus Financial, Inc.Ameriprise Financial Services, Inc.$612-19-2018
Efrain Vasquez MorenoWoodbury Financial Services, Inc.Silber Bennett Financial, Inc.12-18-2018
Erika HolritzWells Fargo Clearing Services, LLCU.S. Bancorp Investments, Inc.12-18-2018
George Lawrence SpalenkaSecurian Financial Services, Inc.HIGHLINE INVESTMENT PARTNERS, INC.12-18-2018
Rebecca Jo DawsonWoodbury Financial Services, Inc.Silber Bennett Financial, Inc.$112-18-2018
Robert James MaguireWoodbury Financial Services, Inc.Silber Bennett Financial, Inc.12-18-2018
Robert William HerrmannWoodbury Financial Services, Inc.Silber Bennett Financial, Inc.12-18-2018
Sagar K ParikhWoodbury Financial Services, Inc.Silber Bennett Financial, Inc.$112-18-2018
Teresa Jo NinoMerrill Lynch, Pierce, Fenner & Smith IncorporatedForesters Financial Services, Inc.$2512-18-2018
Jacob Nolan GuinnLPL Financial LLCBBVA Securities Inc.$1012-17-2018
Michael P LaceyPark Avenue Securities LLCMML Investors Services, LLC12-17-2018
Derek Michael McdougallPark Avenue Securities LLCMML Investors Services, LLC12-14-2018
Joshua Robert BeckJ.P. Morgan Securities LLCAmeriprise Financial Services, Inc.12-14-2018
Victor TruongJ.P. Morgan Securities LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated12-14-2018
Aaron Thomas LeoneBaker Street Asset Management, LLCRaymond James Financial Services, Inc.12-13-2018
Kathleen Ann Mclaughlin CuencoLPL Financial LLCWinans Investments12-12-2018
Timothy Yeats ThomasIntegrative InvestingHoey Investments, Inc.12-10-2018
Geoffrey Willis ShawJ.P. Morgan Securities LLCTD Ameritrade, Inc.12-07-2018
Howard Steven MeyersonLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$10012-07-2018
Jason William BostianWells Fargo Clearing Services, LLCMorgan Stanley12-07-2018
Michael Lawrence BertolucciLPL Financial LLCQuestar Capital Corporation12-07-2018
Arthur Burton VelascoLPL Financial LLCRaymond James Financial Services, Inc.12-06-2018
Daniel William WorthingtonCastle Rock Wealth Management, LLCAXA Advisors, LLC12-06-2018
Karl Adam PreheimLPL Financial LLCWells Fargo Clearing Services, LLC$1,00012-06-2018
Richard George BassmanLPL Financial LLCMML Investors Services, LLC$1012-06-2018
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Showing 251 to 275 of 731 entries

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Disclaimer & Methodology: The InvestmentNews Advisers on the Move database is designed to capture all recruiting activity of retail financial advisers/teams of advisers as they move from one firm to another. The activity recorded within the database comes from a number of sources, including InvestmentNews and other media reports; press releases; direct submissions that have been reviewed by InvestmentNews; and regulatory filings. To qualify as a move, no more than 60 days can have elapsed between the date an adviser/team leaves one firm and the date they join another. Any adviser registration changes that came as a result of merger & acquisition activity are not recorded as moves in the database. Finally, please note that all AUM data is user-submitted and is not audited by InvestmentNews or any regulatory agency. When AUM data is unavailable, a β€œ β€” β€œ is listed in the record’s AUM field entry. All data and information is the property of InvestmentNews LLC and is protected by copyright and other intellectual property laws. All rights are reserved by InvestmentNews LLC. Data may only be viewed on and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.


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